DFX Intelligence
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Registered advisor
L•••• R• M•••••
Feed of 09/14/2026
At current firm
9 y
since Mar 25, 2017
In the industry
23 y
since Dec 4, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Glastonbury, Ct
- M•• F•••••••• S•••••••• I••• formerFeb 27, 2007 to Mar 25, 2017 · Shelton, Ct
- O•••• F•• I••• formerDec 10, 2002 to Feb 21, 2007 · Windsor, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to M•• F•••••••• S•••••••• I•••left Feb 21, 2007, registered Feb 27, 2007 (6 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address